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Articles Tagged with Cetera Advisor Networks

Victor Rigoni (CRD#: 4272056), a registered representative with Cetera Advisor Networks, LLC in Lake Forest, Illinois, is currently involved in two customer disputes totalling nearly $200,000, according to his BrokerCheck record accessed on January 23, 2020. On December 3, 2019, Victor Rigoni became involved in a customer dispute in which a client alleges that he […]

David Rockwell (CRD#: 4236377) of Fort Myers, Florida became involved in a pending customer dispute on July 12, 2019 after a client alleged that he engaged in “forgery and fraud,” according to his BrokerCheck report accessed on August 27, 2019.  The claimant is requesting $700,000 in damages. This was preceded by a claim filed on […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and news reports accessed on January 4, 2018 indicate that FINRA has sanctioned Cetera Advisor Networks and fined the firm $1.4 million in connection to allegations it failed to supervise a registered representative’s excessive trading. Fitapelli Kurta is interested in hearing from investors who […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that Ohio-based Cetera Advisor Networks broker/adviser Jerry Michna has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Michna (CRD# 2711435). Jerry Michna has spent […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2018 indicate that Virginia-based Cetera Advisor Networks broker/adviser Jaret Mutter has received resolved or pending customer disputes and a pending regulatory complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mutter (CRD# 4577955). Jaret […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 26, 2017 indicate that former California-based Cetera Advisor Networks broker/adviser Mamdoh Abas, also known as Mark Abas, has received a customer dispute and was recently terminated from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Pennsylvania-based Cetera Advisor Networks broker/adviser Robert Magee has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Magee (CRD# 1193738). Robert Magee has spent 34 years in the […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2017 indicate that California-based brokerage and advisory firm Cetera Advisor Networks was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Cetera Advisor Networks (CRD# 13572). Established in […]

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